Practical Tips for Navigating SEC Comment Letters

February 26, 2020 at 12:00PM Comment letters from the SEC can come out of the blue, require a lot of work involving executive leadership and the board and result in changes to disclosures and internal processes. Parker Poe’s Julie Rizzo and Doug Harmon provide tactical guidance on planning in advance and responding well. Receiving a … Continue reading Practical Tips for Navigating SEC Comment Letters

MediaPRO: 2020 State of Privacy and Security Awareness Report

February 25, 2020 at 08:57PM Sponsored MediaPRO recently released its “State of Privacy and Security Awareness Report,” revealing evolving progress and challenges in employees’ security awareness and workplace privacy knowledge in the wake of tougher laws like GDPR and the new California Consumer Privacy Act (CCPA). In surveying a diverse section of employees’ roles and … Continue reading MediaPRO: 2020 State of Privacy and Security Awareness Report

AI Regulation Takes Shape: A Look at the EU and U.S.

February 25, 2020 at 12:00PM Simona Lipstaite and Michael Clauser of Access Partnership consider early-stage artificial intelligence regulations in the U.S. and EU, as well as their implications for companies operating globally. The clock is ticking on the European Union to legislate artificial intelligence (AI). The new European Commission President, Ursula von der Leyen, has … Continue reading AI Regulation Takes Shape: A Look at the EU and U.S.

Get to Know Sanction Screening

February 24, 2020 at 08:56PM ComplianceLine host Amanda Hosenfeld is joined by “The Voice of ComplianceLine,” Lucaya Brown and SanctionChat’s Karan Robinson to discuss sanction screening in the workplace (employees, vendors, volunteers, third parties, etc.). The post Get to Know Sanction Screening appeared first on Corporate Compliance Insights. (This is only a summary. Click on … Continue reading Get to Know Sanction Screening

Takeaways from the DOJ’s 2019 False Claims Act Report

February 24, 2020 at 12:00PM The DOJ recently released its annual report on False Claims Act enforcement, and FCA enforcement shows no signs of slowing. Bass, Berry & Sims’ Taylor Chenery, Lauren Gaffney and Anna Grizzle discuss what the report reveals. 2020 marks the 150th anniversary of the Department of Justice (DOJ), and based on … Continue reading Takeaways from the DOJ’s 2019 False Claims Act Report

ProcessUnity Expands Vendor Risk Management Software with New Best Practices Configuration

February 21, 2020 at 04:39PM New out-of-the-box configuration provides quick-to-deploy, comprehensive solution for third-party risk management  CONCORD, MASS. – ProcessUnity, a leading provider of cloud-based applications for risk and compliance management, today announced a new pre-built configuration of its award-winning Vendor Risk Management solution. Best Practices Configuration for ProcessUnity Vendor Risk Management (VRM) is a pre-configured third-party … Continue reading ProcessUnity Expands Vendor Risk Management Software with New Best Practices Configuration

The NY SHIELD Act is Coming: Time for a Cybersecurity Checkup?

February 21, 2020 at 12:00PM The New York SHIELD Act will go into effect in just a few weeks, so if your organization serves residents of New York, the time is now to make sure your company is in compliance with the law. Guidepost Solutions’ Matthew Levine provides an overview for compliance pros. In July … Continue reading The NY SHIELD Act is Coming: Time for a Cybersecurity Checkup?

PwC’s 2020 Global Risk Study

February 20, 2020 at 10:22PM PwC has just published the 2020 Global Risk Study, compiling insights from risk management, compliance and internal audit professionals to better understand how the risk function at large can succeed in today’s interconnected, 4IR technology-driven and increasingly complex risk landscape. The study revealed some of the most common challenges executives are … Continue reading PwC’s 2020 Global Risk Study

Emerging Trends Under the DOJ’s Corporate Enforcement Policy

February 20, 2020 at 12:00PM Changes are on the horizon for FCPA prosecutions. Nicole Sprinzen and Kara Kapp of Cozen O’Connor offer guidance to help compliance professionals navigate the FCPA landscape given what’s to come, particularly in terms of white-collar prosecutions. Every consideration of whether to self-disclose a violation of the Foreign Corrupt Practices Act … Continue reading Emerging Trends Under the DOJ’s Corporate Enforcement Policy

Risk Management During the Coronavirus

February 20, 2020 at 12:00PM Vicky Yu has seen the effects of the coronavirus firsthand. Here, she offers lessons learned, hopefully to protect those organizations who may yet get an up-close-and-personal view into the outbreak. Since the coronavirus outbreak in China late December 2019, many Chinese companies or multinational companies that have offices in China … Continue reading Risk Management During the Coronavirus

The “Old” Board Governance Model Needs to Change

February 19, 2020 at 12:00PM Changing trends, risks and demands necessitate changes in response. Michael Volkov asserts that boards must shift to a broader approach, replacing a single-minded focus on profits with measured consideration of the interests of a wide range of stakeholders. Corporate boards are under increasing attack by investors, shareholders and the public. … Continue reading The “Old” Board Governance Model Needs to Change

How Organizations are Using Blockchain to Ensure Compliance

February 19, 2020 at 12:00PM Smaller organizations simply don’t have the resources their larger counterparts enjoy to keep up with compliance requirements. Polyient Labs CEO Brad Robertson outlines how they can clear that hurdle. There are those who still associate blockchain technology – decentralized, transparent immutable digital ledgers – with only two things: Bitcoin and … Continue reading How Organizations are Using Blockchain to Ensure Compliance

What Could Be Lurking in Your Expense Reports?

February 18, 2020 at 12:00PM What happens when employees add a few out-of-policy expenses? If reports are reviewed manually, these items might slip right on through, but an AI solution can help flag them. Anant Kale and Josephine McCann of AppZen highlight some of the craziest expenses they’ve seen. Employees who are unfamiliar with your … Continue reading What Could Be Lurking in Your Expense Reports?

Critical Considerations for Managing Regulatory Disclosures

February 18, 2020 at 12:00PM The environment for regulatory disclosure management has become increasingly complex in the financial services industry. Messagepoint’s Patrick Kehoe discusses the compliance issues institutions of all sizes face, along with best practices for meeting those challenges. Each time a financial services company offers a customer a product, it must disclose everything … Continue reading Critical Considerations for Managing Regulatory Disclosures